RSF Form 3: Officer Affiliate Files Initial Statement Showing 0 Shares

RiverNorth Capital & Income Fund, Inc. (RSF) Form 3 filed by RiverNorth Financial Holdings, LLC on 09/18/2025 reports the initial beneficial ownership statement for a reporting person affiliated with the fund's adviser.

Rhea-AI Filing Summary

RiverNorth Capital & Income Fund, Inc. (RSF) Form 3 filed by RiverNorth Financial Holdings, LLC on 09/18/2025 reports the initial beneficial ownership statement for a reporting person affiliated with the fund's adviser. The filer identifies its relationship as an officer and as an affiliate of the adviser. The filing states 0 common shares beneficially owned directly. The form is signed by Marc Collins.

Insights

Corporate Governance Expert

TL;DR: Initial Section 16 filing discloses an affiliated officer with no direct common-share ownership.

The Form 3 documents the initial beneficial-ownership filing for an entity identified as an officer and adviser affiliate. The declaration of zero direct common shares means there is no immediate Section 16 economic stake reported by this reporting person. From a governance perspective, the filing is routine and offers no new ownership alignment with public shareholders.

Securities Analyst

TL;DR: Routine initial disclosure; no material ownership change reported.

The submission is an initial statement under Section 16 showing 0 common shares beneficially owned by RiverNorth Financial Holdings, LLC. The relationship is listed as an officer and affiliate of the adviser, and the form is signed by Marc Collins. There are no derivative holdings or other securities disclosed, indicating no reportable economic position at filing.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider RiverNorth Financial Holdings, LLC

Role Insider

Type	Security	Shares	Price	Value
holding	Common Shares of Beneficial Interest	--	--	--

Holdings After Transaction: Common Shares of Beneficial Interest — 0 shares (Direct)

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 3 filed for RSF disclose?

The Form 3 discloses an initial beneficial-ownership filing by RiverNorth Financial Holdings, LLC stating 0 direct common shares owned and identifying the filer as an officer and adviser affiliate.

When was the Form 3 for RSF filed?

The form lists the date of the event requiring the statement as 09/18/2025 and is signed on that date.

Does the Form 3 report any derivative securities for RSF?

No. Table II for derivative securities shows no entries; the filing reports no derivative holdings.

Who signed the Form 3 filed for RSF?

The Form 3 is signed by Marc Collins on behalf of RiverNorth Financial Holdings, LLC.

What relationship to the issuer is stated on the Form 3?

The reporting person is identified as an Officer and as an Affiliate of the Adviser to the issuer.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 09/18/2025 - 04:42 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

RiverNorth Financial Holdings, LLC

(Last) (First) (Middle)

360 S. ROSEMARY AVE

SUITE 1420

(Street)

WEST PALM BEACH FL 33401

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/18/2025

3. Issuer Name and Ticker or Trading Symbol
RiverNorth Capital & Income Fund, Inc. [ RSF ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			Affiliate of the Adviser

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares of Beneficial Interest	0	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Marc Collins	09/18/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.